Multiple Principal and Non Sole Responsible Officer (RO) Vacancies (SFC Types 1, 4, 9)

Job Title: Multiple Principal and Non‑Sole Responsible Officer (RO) Vacancies (SFC Types 1, 4, 9)

Location: Central, Hong Kong

Background

We are recruiting multiple Principal and Non‑Sole Responsible Officers (ROs) for SFC Type 149 RO roles to support Asset Management and Private Equity / Family Office clients applying for new SFC licensed entities.

We are seeking a structured mix of SFC RO coverage, typically:

1. At least one RO holding Type 1, 4, 9, and
2. Two additional ROs holding either Type 1, 4 and/or Type 4, 9 combinations, as required by each client application.

For certain clients, fluent Mandarin is required.

About the Roles

A Chinese securities and asset management company and a Western asset management / startup firm are both seeking suitable professionals to act as Principals and/or Non‑Sole ROs.

These roles are offered on a part‑time / flexible working arrangement basis, with no on‑site requirement during the application process.

Key Responsibilities (Principal / Non‑Sole RO)

For Type 1,4,9 or Type 4,9 / Type 1,4 regulated activities, you will:

1. Act as a Principal or one of the Non‑Sole Responsible Officers (ROs) for the licensed activities.
2. Supervise and oversee the company’s day‑to‑day operations to ensure compliance with SFC requirements.
3. Ensure adherence to the SFC Code of Conduct and applicable regulations.
4. Support the development, implementation, and monitoring of compliance policies and procedures.
5. Maintain regulatory standards and serve as a key point of contact for SFC matters.

Requirements (for the SFC licensing period)

You must currently hold the relevant SFC license(s):

Role A (HK$25K–HK$30K)

1. Type 1, 4, 9

Role B (HK$20K–HK$25K)

1. Type 4, 9

In addition, candidates should have:

1. Minimum 1 year of relevant experience as an RO or in a compliance / regulatory capacity (MIC and RO).
2. Strong understanding of SFC regulations and compliance obligations.
3. Ability to work independently with a flexible schedule.

What They Offer

1. Part‑time / flexible working arrangement
2. Remote setup (no requirement to report to office)
3. Competitive compensation:
4. HK$20K–HK$25K (Type 4, 9)
5. HK$25K–HK$30K (Type 1, 4, 9)
6. Opportunity to support reputable Chinese securities / asset management clients or Western asset management / startup clients.

Please send an updated resume in English to our Managing Partner at ec(at)Harbridgepartners(dot)com

Interested in this and other roles? Please send an updated resume in English to CV[@]harbridgepartners[dot]com

Or contact +852 2523 9955 – and ask for Vanessa Wang, Edward Chen, Richard Liu, Jerry Tang.

Harbridge Partners Limited

Employment Agency License: 79129